Final Rule: Rule 701 – Exempt Offerings Pursuant to Compensatory Arrangements SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 230 [Release No. 33-7645; File No. S7-5-98] ...
The Commission is making technical corrections to rules 204-1 and 202(a)(1)-1 under the Investment Advisers Act of 1940 ("Advisers Act"). Rule 204-1 was published Thursday, ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 279(Release No. IA-1733A; File No. S7-28-97)RIN 3235-AH22Final Rule; Technical changes to a Form.AGENCY:Securities and Exchange Commission.ACTION: Final rule.SUMMARY:The Commission ...
This is a copy of the 1998 Franklin no-action letter that relates to quarterly reports to clients.
Final Rule: Registration Form Used by Open-End Management Investment Companies SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 230, 232, 239, 240, 270, and 274 Release ...
Final Rule: Amendment to Rule 102(e) of the Commission’s Rules of Practice SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 201 (Release Nos. 33-7593; 34-40567; 35-26929; ...
The Commission is adopting a new rule and form under the Investment Advisers Act of 1940 that requires most registered investment advisers to file with ...